CONFIDENTIAL
June __, 2014
[Name]
Projects Administrator
City Department
Re:
Case No. 14025.Q / Post-Employment
Dear ______:
You first contacted our offices on June __, 2014 by telephone to discuss whether and how the
post-employment provisions in the City’s Governmental Ethics Ordinance will restrict you in
your imminent post-City position as a ___________ with [Company A.] On June __, __, and __,
we spoke by telephone and exchanged emails regarding your inquiry.
As explained in this letter, Board of Ethics [“Board”] staff advises you that the Governmental
Ethics Ordinance [“Ethics Ordinance” or “Ordinance”] does not prohibit you from accepting this
position, but we caution you that it does impose certain restrictions on your activities. This letter
summarizes the relevant facts and these restrictions.
You are currently a Projects Administrator with a City Department. You have held this position
for 8 years and __ months. Prior to holding this position, you served as a _______ with another
City Department from February 199_ until February 200_ and before that, as a __________ from
September 199_ (when you started your City service) until February 199_. Your last day of work
with the City will be June __, 2014 and you will begin work for [Company A] on or about June
__, 2014.
You stated that, in your position with [Company A,] you will be responsible for managing ____
projects and business development. You indicated that, among other duties and responsibilities,
this job will entail: attending national ________ conferences and ____________ workshops and
seminars; ______ outreach via telephone; and, attending pre-bid conferences and preparing bid
materials for various ________ projects. While your work with [Company A] has the potential to
be nationwide in scope, you are aware and understand that none of it can involve the City
Department during the prohibition periods set forth below.
June __, 2014
Case No. 14025.Q
Page 2
You further stated that [Company A] is currently the prime contractor on a contract with City
Department (Contract ______); the contract has a start date of October ____, 20__ and an end
date of October __, 20__. The contract also provides that at any time before the expiration of the
contract, the City may elect to extend it “for up to two (2) additional two-year periods.” This
contract is for specified “_______ planning services” on a task order basis. You told me on June
__, and reiterated in your June __ email, that you have had no involvement with the letting or
performance of this contract.
In addition to the above contract, you indicated in your June __ email to me that [Company A] is
a subcontractor on three (3) additional contracts with the City Department:



Contract _____, extended by modification _____. Contract expiration date: 12/31/__.
Contract _____. Contract expiration date: 9/__/__.
Contract _____. Contract expiration date: 12/31/__.
You advised me that you applied for the job with [Company A] electronically on April __, 2014.
Subsequently, on May __, 2014, you first interviewed with [Company A.] You further stated
that, from the time of your interview to the present, you have had no role or responsibilities with
respect to work being done by [Company A] under any of the four contracts listed above that it
currently has with the City Department. In fact, you said, during your entire employment with
the City Department, you have had no involvement whatsoever with contracts ____ and ____.
With respect to contracts ____ and ____, while you did have involvement with these contracts as
part of your job as a Projects Administrator prior to your application to [Company A] for
employment, you have had no involvement with the contracts since the time of your initial
interview with [Company A.] Therefore, we conclude, §2-156-111(c) of the Ordinance, which
prohibits you from knowingly negotiating the possibility of future employment with any person
(other than a governmental agency) that currently has a matter pending before you, is not at issue
in this case.
Law and Analysis. The primary section of the Ethics Ordinance that is at issue with respect to
your inquiry is §2-156-100, entitled “Post-Employment Restrictions,” specifically subsection (b),
which states:
No former official or employee shall, for a period of one year after termination of
the official’s or employee’s term of office or employment, assist or represent any
person in any business transaction involving the City or any of its agencies, if the
official or employee participated personally and substantially in the subject
matter of the transaction during his term of office or employment; provided, that
if the official or employee exercised contract management authority with respect
to a contract this prohibition shall be permanent as to that contract.
Section 2-156-010(g) defines “contract management authority” as follows:
“Contract management authority” means personal involvement in or direct
June __, 2014
Case No. 14025.Q
Page 3
supervisory responsibility for the formulation or execution of a City contract,
including without limitation the preparation of specifications, evaluation of bids
or proposals, negotiation of contract terms or supervision of performance.
By way of plain language explanation, this subsection will prohibit you, as a former City
employee, from “assisting or representing” any person, such as [Company A,] in any business
transaction involving the City for one year after the effective termination date of your City
service, if you “participated personally and substantially in the subject matter of that transaction”
while you were a City employee. It also provides that, if you “exercised contract management
authority” with respect to a City contract during your City service, the prohibition shall be
permanent as to that contract (meaning for the entire term or the contract, no matter how long it
lasts). The Board has recognized that assisting and representing a person (such as a new
employer) in a business transaction involving the City includes helping the person to seek, as
well as perform, a City contract, and also includes rendering advice, negotiating contracts, or
preparing or submitting documents to the City on behalf that person. See Case 04058.A.
One-Year Prohibition. In your position as a Projects Administrator with City Department, you
manage and supervise ________ at a large City facility. You advised me that the City
Department has a professional services contract, contract ______, with ___________, a Project
Management Organization [“PMO”]. The PMO is responsible for validating vendor invoices
and work production for certain City Department projects. Further, the PMO, in conjunction with
City Department personnel, oversees ______ services in connection with City Department
projects.
As the Board has recognized in previous cases involving departing employees in positions very
similar to yours, we conclude that you were personally and substantially involved in
_______________. Thus, we advise you that, for one year from the date you leave your City
service, you will be prohibited from assisting or representing any person, such as [Company A],
in any business transaction involving [this same subject matter]. This restriction does not,
however, prohibit you from accepting the position with Company A that you have described, nor
does it apply to other employees of [Company A,] but we advise you that, for this time period,
you should work with [Company A’s] human resources and legal staff to ensure that you build
an effective and impermeable ethical screen to ensure that you have absolutely no involvement
with any business the company may seek with the City Department during that year.
Permanent Prohibition. Second, as [Company A] has contracts with the City Department at
this time, you and I discussed the extent, if any, to which you have exercised contract
management authority with respect to the two contracts, _____ and ____, with which you
indicated you had involvement. You stated that with regard to Contract _____, City
Department’s Assistant Commissioner of ___________ assigned the project to you in ________
2013 and that you attended _______ phasing meetings throughout the duration of the project.
Next, as to Contract ________, you took responsibility of this project in ________2013. Your
primary involvement with this project, to date, has been reviewing invoices and ensuring that
they are routed to all appropriate parties. The project is still in the design phase and no
construction work has yet been undertaken.
June __, 2014
Case No. 14025.Q
Page 4
Our review of your City responsibilities leads us to conclude that your personal involvement and
the nature of your work with Contracts _____ and _____ constitutes “contract management
authority” under the Ordinance. Thus, you are prohibited from assisting or representing
[Company A] or any associated companies or persons with respect to these existing contracts,
until they expire. The Board of Ethics has adjudicated a series of cases interpreting the
permanent prohibition, finding that this prohibition broadly applies to all aspects of assistance,
including even “behind the scenes” or administrative work. Accordingly, in accepting a job with
[Company A,] we remind you again that, once you join [Company A,] you ensure that an
effective ethical screen is established so that, for the life of these two contracts, you have no
connection with or communications with [Company A,] City, or other personnel regarding them,
including, but not limited to: access to any documents; management; discussions; decisionmaking; and/or input concerning the contracts. This restriction does not prohibit you from
communicating or working with [Company A] personnel who do work on these contracts, as
long as that communication or work does not involve these contracts, but involves other matters
that are not subject to this permanent or the one-year prohibition summarized above.
Confidential Information. Finally, Ordinance §2-156-070, “Use or Disclosure of Confidential
Information,” permanently prohibits you from using or revealing confidential information you
have acquired through your City employment. “Confidential information,” for purposes of this
section, means any information that may not be obtained pursuant to the Illinois Freedom of
Information Act, as amended.
Penalties for Violating the Ordinance’s Post-employment Provisions. We remind you that
the penalties for being found to have violated the Ordinance’s post-employment provisions are
severe: violators shall be subject to a fine of not less than $500.00 and not more than $2000.00
for each offense, pursuant to Ordinance §2-156-465 (b)(7). Further, §2-156-510 of the Ordinance
provides that any contract negotiated, entered into, or performed in violation of any provisions of
the Ordinance can be voided by the City. Additionally, any permit, license, ruling, determination
or other official action of a City agency applied for or sought, obtained or begun in violation of
the Ordinance is invalid. Moreover, as you signed an “Ethics Pledge” regarding the lobbying
ban, a violation of that ban subjects you not only to the penalties just noted, but also to a civil
action for damages or an injunction, and disgorgement of all monies received in connection with
the violation. See §2-156-015(d).
Reliance. Board staff’s conclusions and advice are based solely on the application of the
Governmental Ethics Ordinance to the facts summarized in this letter and to the position with
[Company A] that you have described to us. If these facts are incorrect or incomplete, please
notify us immediately, as any change may alter our conclusions or advice. Further, I advise that,
should your post-City employment plans change, you contact our office for further, specific
advice at that time, because you will be subject to certain prohibitions as to that work as well.
Finally, please note that this opinion may be relied upon by any person involved in the specific
transaction or activity with respect to which this opinion is rendered.
Our office appreciates the opportunity to advise you, and your professionalism in seeking our
June __, 2014
Case No. 14025.Q
Page 5
advice. If you have further questions about this or any other matter, please contact me.
Sincerely,
______________________________
Lisa Eilers, Deputy Director
Approved by:
______________________________
Steven Berlin, Executive Director